ZEGA FINANCIAL LLC
PALM BEACH GARDENS, FLORIDA

We’re not young as an investment manager, because while ZEGA as a firm is young, our team’s experience runs deep when it comes to trading, investment products and historic market conditions. We use complex tactics to take profit and protect from volatility in the marketplace, but we’re old school. We are extremely conservative in our market positioning and follow the strictest of ethical codes to act only in the best interest of our clients. As the product families at ZEGA grew, Mick joined the firm to tackle two roles. The first focuses on trading execution and support. The second examines, and helps to refine, investment strategies as they move from the incubation stage to broader distribution among clients. Mick brings a product manager’s sensibility and methodology to his work, having performed this role most recently at Bank of the West and for a more extended run at TD Ameritrade. In his 15+ years at the online broker, he oversaw myriad changes in a rapidly growing industry. He helped build retail trading products, create educational programs, and develop the industry’s first JD Power-certified call center. Jillian studied International Business at Merrimack College. She is also a huge Boston sports fan, but because she is such a team player, nobody really holds it against her. Derek manages ZEGA’s Registered Investment Advisor relationships, specializing in option strategies for income and protected growth. He helps advisors—and their retail clients—understand the calculus behind each strategy and how it best fits their investment goals. We provide our Advisors with many avenues of support to help them communicate our strategies to their clients and grow their business: Interested in going independent or switching to a different advisory firm? ZEGA’s also works very closely with a firm that offers independent financial professionals a suite of risk-management investment solutions with an all inclusive infrastructure and support to help you start, build, and grow your business. If this is something of interest to you, ZEGA will handle the introduction. Current Product Availability By customizing the many characteristics of any option position, ZEGA Financial strives to achieve a level of precision managing portfolio risk that exceeds more common approaches like diversification (though we believe in that, too!). As an advisor, you can then more clearly target risk-weighted returns that match your client’s current situation. Off-the-rack turns into custom-tailored. Upon breaking out on our own, the first thing we did was share these concepts in an Amazon best-seller**: “Buy and Hedge, The Five Iron Rules for Investing Over the Long Term”. Next came the regular appearances on Fox Business News, Bloomberg, Forbes, etc. to share still more. Good defense can get a team to the Superbowl. Good portfolio defense is intended to get your client to retirement – faster. But some of the old school choices, like allocating a greater portion of assets to bonds, isn’t necessarily the best defense. By hedging equity allocations with options, your clients continue to participate in some market upside while being protected to the downside. We believe hedging will help your clients sleep soundly through sudden market corrections or scary system failures. ZEGA – in conjunction with Alpha-DNA, a data mining firm – monitors the digital footprints of 2,200 publicly-traded companies. After four years of study, we’ve found a high correlation between the changes in demand for a company’s products and changes in the trajectory of its digital signal. We use this demand projection to identify potential revenue trends that are expected to surprise the markets.